Office of Government Ethics Program Reviews

Transcription

1 Ethics Counselors Deskbook Rev. November 2013 Office of Government Ethics Program Reviews Ethics & Fiscal Law Administrative Law Directorate Office of the Judge Advocate General Headquarters Air Force

2 Office of Government Ethics Program Review Authority Title IV of the Ethics in Government Act of CFR part 2638 Monitor compliance with the public and confidential financial disclosure requirements; and Evaluate the effectiveness of programs designed to prevent conflicts of interest 2

3 Materiality of Findings Findings of lack of compliance with ethics requirements are reportable if they are material In general, a finding is material if there is: routine lack of compliance with a statutory/regulatory provision or related provisions; or a single instance of lack of compliance with a statutory/regulatory provision of substantial magnitude 3

4 Model Practices Helps the agency foster a strong ethical culture Example - An agency head includes a welcome letter underscoring the importance of ethical culture in initial ethics orientation materials for new employees. Creates efficiencies in the administration of the ethics program Example The agency employs a database that sends automatic notifications reminding ethics officials that a report must be reviewed and certified to meet the 60- day deadline. Facilitates enduring ethics program effectiveness Example The agency has a comprehensive succession plan for the ethics program that prepares the agency for turnover in staff. 4

5 Model Practices continued Is an innovative solution to a challenge that may be useful to the executive branch ethics community Example The agency is having trouble identifying new employees in order to provide them with initial ethics orientation. The human resources office is unable or unwilling to help the ethics office. The ethics office knows that every new employee fills out a form to gain access to a computer. The ethics office then convinces IT to include a signature line for the ethics office on the computer access form. Now, the ethics office can identify every incoming employee because new employees require the signature of an ethics official before they can access their computer. 5

6 Program Review Timeline Data Collection Phase Notification of Selection Informal Meeting Records handoff Onsite Phase Entrance/Exit Conference Records Analysis with Ethics Office Interviews Reporting Phase 2 week comment period on draft Follow-up Phase 60 days response period on recommendations Follow-up report 6

7 Program Review Elements Ethics Program Administration Public Financial Disclosure Confidential Financial Disclosure Education & Training Advice & Counsel Agency Specific Ethics Rules Conflict of Interest Remedies Enforcement Special Government Employees 31 U.S.C Travel Payments 7

8 Ethics Program Administration Close liaison with OGE Written delegation to DAEO/ADAEO Agency leadership involved in Ethics program Agency s supplemental regulations, financial disclosure system and PGE enforcement system periodically reviewed Ethics service assigned to employees detailed outside of agency 8

9 Public Financial Disclosure Written policies and procedures Master list of filers New entrants file w/in 30 days of new position Termination reports filed within 30 days of leaving position Annual filers NLT May 15 th Late fees assessed or waived by DAEO OGE 278 reports reviewed and certified within 60 days System records retained for 6 years OGE 278-Ts on monthly basis 9

10 Confidential Financial Disclosure Written policies and procedures Master list of filers New entrants file w/in 30 days of new position Meet filer criteria: personal and substantial participation in procurement, auditing or regulation that would have direct and substantial economic effect on NFE Annual filers NLT February 15 th OGE 450 reports reviewed and certified within 60 days System records retained for 6 years 10

11 Education and Training Initial Ethics training for all new employees within 90 days of entry Annual training requirements (topics, format, qualified instructor) Verbal training for 278 filers Verbal training at least once every three years for other filers 11

12 Advice and Counsel Counseling for agency employees on standards of conduct and PGE 5 key factors Accuracy Timeliness Transparency Accountability consistency Based on samples of formal legal opinions Assignment of Ethics Counselors 12

13 Agency Specific Ethics Rules Supplementation of OGE regulations must be promulgated jointly with OGE an published in Title 5 of CFR 278s and 450s must comply with supplemental regulations 13

14 Conflicts of Interest Remedies Agency must consult with OGE on 18 USC 208 waivers when practicable and forward copy to OGE Requests for 208(b)(1) waivers Disqualifying financial investment not so substantial that it calls employee s integrity into question Requests for 208(b)(3) waivers for FACA advisors Waivers available to public upon request 14

15 Enforcement OGE notified of referrals to DOJ Agency s IG utilized as appropriate Prompt and effective corrective action taken on actual and potential conflicts of interest 15

16 Special Government Employees If meet OGE 278 criteria & service > 60 days, must file OGE 278 Others must file OGE 450 SGEs receive minimum ethics training 278 files receive verbal training 450 filers > 60days/year receive written training with verbal training at least once every three years 450 filers < 60 days/year receive written training 16

17 31 U.S.C Travel Payments Agency has process for analyzing 1353 travel requests for conflict of interest Semi-annual reports filed 31 May and 30 November 17

18 Materials Required to be Provided to OGE Org Charts, Delegation letters, policy and procedure regulations Training plan, training materials and evidence of attendance All formal ethics opinion and samples All 18 USC 208(b)(1) waivers Contact info for HR & IG POCs Use OGE checklist 18

19 Preparing for the Program Review Have a competent program in place Ensure all records are easily audited Pre-Interview HR & IG personnel Consider having MAJCOM/JA do a pre-audit Review prior Program Reviews for your agency and other DoD agencies Ensure website is up to date Use OGE checklist 19

20 Tips for Success in a Program Review Be familiar with OGE resources and Desk Officer program Be familiar with your agency s history especially compliance and enforcement Make their Program Review Report easy to write especially agency overview Make FDM records audit-friendly Identify deficiencies and corrective actions Identify Model Practices Be timely and thorough on responses 20

21 Recent DoD Deficiencies on Program Reviews December 2012: Headquarters. U.S. Army Difficulty ID new employees, hence routinely > 30 days to file Review and certification of annual and termination (278) reports often late No control over supervisors Document Initial Technical Review! Retain (paper) records for (NMT) 6 years FDM must compete with other OGC initiatives for funding All 5 recommendations and 4 suggestions closed out by follow-on report 21

22 Recent DoD Deficiencies on Program Reviews cont. November 2011: Headquarters, U.S. Navy Good system of conflict of interest review (using checklist) 39% of OGE 278s certified late but good documentation of Initial Technical Review New entrant OGE 450 filers hard to identify and often filed late No training deficiencies Overall, very good report (2 minor suggestions) 22

23 Recent DoD Deficiencies on Program Reviews cont. November 2011: Headquarters, U.S. Air Force Routine delays in certification of OGE 278s Difficulty in timely ID of new OGE 278 entrant and termination filers Field Ethics Counselors lack experience in financial disclosure and FDM system System of dissemination of boilerplate opinions (e.g., WAG) deemed Advice and Counsel Model Practice 23

24 Recent DoD Deficiencies on Program Reviews cont. October 2011: Defense Logistics Agency OGE impressed with 98% of annual OGE 278s timely filed One suggestion: new entrant OGE 450s filed late 12 Model Practices! Agency self-awareness audit for employee knowledge of ethics program Conflict of Interest review checklist for filers and reviewers Education and training: 1) DAEO involved in senior leader training; 2) useful website; 3) creative training formats for ECs Advice and Counsel: 1) All EC database; 2) customized PGE letters; 3) Comms between HQ and field; 4) Annual EC seminar; and 5) phone kiosks with EC for isolate employees Fantastic Program Review report 24

25 OGE Program Reviews Questions? 25